AU-10(4)_validate-binding-of-information-reviewer-identity

AU-10(4) Validate Binding of Information Reviewer Identity

Enhancement of: AU-10

High-Level Description

Family: Audit and Accountability (AU) Framework: NIST SP 800-53 Rev 5

Validating the binding of the information reviewer identity to the information at transfer or release points prevents the unauthorized modification of information between review and the transfer or release. The validation of bindings can be achieved by using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.

What to Check

• Verify AU-10(4) Validate Binding of Information Reviewer Identity is documented in SSP
• Validate all 2 control requirements are implemented
• Confirm control is operating effectively
• Review evidence of continuous monitoring for AU-10(4)
• Verify enhancement builds upon base control AU-10

How to Test

Step 1: Review Documentation

Examine the System Security Plan (SSP) and related artifacts for AU-10(4) implementation details. Verify the organization has documented how this control is satisfied.

Step 2: Validate Implementation

# For cloud environments, use cloud-audit-mcp tools
# For on-premises, review system configurations directly

# Example: Check if account management policies exist
grep -r "account.management\|access.control" /etc/security/ 2>/dev/null

Step 3: Test Operating Effectiveness

Verify the control is actively functioning, not just documented. Check logs, configurations, and operational evidence.

Tools

Remediation Guide

Control Statement

Validate the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between [organization-defined] ; and Perform [organization-defined] in the event of a validation error.

Implementation Guidance

Validating the binding of the information reviewer identity to the information at transfer or release points prevents the unauthorized modification of information between review and the transfer or release. The validation of bindings can be achieved by using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.

Risk Assessment

CWE Categories

References

• NIST SP 800-53 Rev 5 - AU-10(4)
• NIST SP 800-53A Rev 5 (Assessment Procedures)
• NIST SP 800-53 Rev 5 Full Catalog

Checklist

• Control documented in SSP
• Implementation evidence collected
• Operating effectiveness validated
• Continuous monitoring in place
• Related controls (AC-4, AC-16) reviewed